FINRA seeks info from crowdfunding portals
U.S. regulator intends to use the information to develop rules specific to the portals
- January 10, 2013 January 10, 2013
- 16:45
Latest news in From the Regulators
OSC schedules crowdfunding sessions
Regulator seeks input on four possible prospectus exemptions
- By: James Langton
- January 10, 2013 January 10, 2013
- 16:35
OSC imposes sanctions on Gold-Quest promoters
Investors lured to invest hundreds of thousands of dollars in Ponzi scheme
- By: IE Staff
- January 10, 2013 January 10, 2013
- 12:45
IIROC to strengthen benchmark rate oversight
Review of CDOR supervision concludes some reforms are needed
- By: James Langton
- January 10, 2013 January 10, 2013
- 12:20
IIROC fines optionsXpress
Firm failed to correct deficiencies found during compliance exam
- By: IE Staff
- January 10, 2013 January 10, 2013
- 10:45
SEC enforcement chief to depart agency
Robert Khuzami tackled cases stemming from the financial crisis during his tenure
- By: James Langton
- January 9, 2013 January 9, 2013
- 15:40
BCSC panel orders two company directors to repay $5.7 million
JV Raleigh directors banned, fined for selling securities without being registered
- By: IE Staff
- January 9, 2013 January 9, 2013
- 14:45
CSA to improve scholarship plan disclosure
New “plan summary” is designed to provide investors with key information in a simple, plain language format
- By: James Langton
- January 9, 2013 January 9, 2013
- 14:25
Basel tells banks to centralize risk data
Global systemically important banks will be required to implement new principles by 2016
- By: James Langton
- January 9, 2013 January 9, 2013
- 13:45
SEC charges two KPMG auditors
Auditors charged over audit of failed Nebraska bank
- By: James Langton
- January 9, 2013 January 9, 2013
- 12:10
Former fund salesman fined for falsifying client documents
Smilestone prohibited from conducting securities related business for two years
- By: Fiona Collie
- January 9, 2013 January 9, 2013
- 11:15
FINRA fines total US$68 billion in 2012
U.S. regulator sees increase in disciplinary cases
- By: James Langton
- January 9, 2013 January 9, 2013
- 08:00
OSFI to designate systemically important banks soon
Regulator expects to make announcement within a few months
- By: James Langton
- January 8, 2013 January 8, 2013
- 15:15
IIROC eyes use of titles and designations by reps
Regulator proposes best practices so investors aren’t misled
- By: James Langton
- January 8, 2013 January 8, 2013
- 14:00
OSC bans man for “predatory” behavior
Unregistered trader purchased Electrolinks shares for one cent and then sold them to investors at 65 to 85 times that amount
- By: James Langton
- January 7, 2013 January 7, 2013
- 12:30
Basel liquidity standards for banks eased
Revisions endorsed on the weekend by oversight body
- By: James Langton
- January 7, 2013 January 7, 2013
- 10:15
MFDA proposes changes to branch manager rules
Proposed amendments would allow for flexible approach to supervision
- By: James Langton
- January 4, 2013 January 4, 2013
- 15:00
BCSC proposes revoking Northwest exemption
Lack of compliance leads regulator to propose scraping of EMD registration exemption
- By: James Langton
- January 3, 2013 January 3, 2013
- 14:25
U.S. brokerage fined over pricing of mutual fund orders
FINRA orders Pruco Securities to pay US$10.7 million
- By: James Langton
- January 2, 2013 January 2, 2013
- 10:00
SEC approves new rules regarding lost holders of securities
Broker-dealers required to conduct searches for holders of securities with whom they have lost contact
- By: James Langton
- December 24, 2012 December 24, 2012
- 08:20
Teacher accused of unregistered trading and advising
OSC schedules hearing for futures trading school operator
- By: James Langton
- December 21, 2012 December 21, 2012
- 17:30
Provinces adopt new offering memorandum exemption
New relief aims to help early stage companies raise capital
- By: James Langton
- December 21, 2012 December 14, 2017
- 11:00
OSC trims fee hike
In response to industry complaints, proposed increases for registrants and issuers have been scaled back
- By: James Langton
- December 20, 2012 December 20, 2012
- 16:40
ASC eases offering memorandum exemption requirements
Blanket order provides relief from certain financial statement-related requirements
- By: James Langton
- December 20, 2012 December 20, 2012
- 16:35